International Journal of Refrigeration 25 (2002) 421–427

www.elsevier.com/locate/ijrefrig

CO2 heat pump systems

Petter Nekså *,1
SINTEF Energy Research, Refrigeration and Air Conditioning, N-7034 Trondheim, Norway

Received 23 November 1999; received in revised form 29 February 2000; accepted 8 March 2000

Abstract
After the CFCs and the HCFCs were deemed unfit as working fluids in refrigeration, air conditioning, and heat
pump applications, there has been a renaissance for carbon dioxide technology. Heat pumps is one of the application
areas where theoretical and experimental investigations are now performed by an increasing number of research insti-
tutions and manufacturers. This paper gives an overview of some of the current activities in the CO2 heat pump field.
Discussed are the important characteristics of the transcritical CO2 process applied to heat pumps, and also discussed
are theoretical and experimental results from several heat pump applications. Provided that calculations and system
designs are performed on the premises of the working fluid, and that test plants are constructed and operated to fully
exploit the specific characteristics of both the fluid and the transcritical process, the results show that CO2 is an
attractive alternative to the synthetic fluids. Competitive products may be launched in the near future. # 2002 Elsevier
Science Ltd and IIR. All rights reserved.
Keywords: Heat pump; Refrigerant; CO2; Transcritical cycle; Performance

Pompes à chaleur utilisant le dioxyde de carbone

Résumé
Depuis que les CFC et les HCFC ont éte´ interdites en tant que frigorige`nes dans les applications frigorifiques, de con-
ditionnement d’air et de pompes à chaleur, la technologie utilisant du dioxyde de carbone (CO2) connaı´t un renouveau.
Des e´tudes the´oriques et expe´rimentales sur les pompes à chaleur sont de´sormais effectue´es par un nombre croissant
d’organismes de recherche et de fabricants. Cette communication donne une vue d’ensemble de certaines activite´s actuelles
dans les domaine des pompes à chaleur utilisant le CO2. Les caracte´ristiques cle´s du cycle transcritique applique´ aux
pompes à chaleur sont de´crites, ainsi que des re´sultats the´oriques et expe´rimentaux obtenus dans plusieurs applications des
pompes à chaleur. Les re´sultats montrent que le CO2 est un frigorige`ne attrayant qui permet de remplacer des frigorige`nes
synthe´tiques, à condition d’adapter les calculs et la conception du syste`me pour le CO2, et de construire des bancs d’essai
permettant d’exploiter au mieux les proprie´te´s du fluide et du cycle transcritique. Les produits compe´titifs seront lance´s
dans un avenir proche. # 2002 Elsevier Science Ltd and IIR. All rights reserved.
Mots cle´s : Pompe à chaleur ; Frigorigène ; CO2 ; Cycle transcritique ; Performance

* Tel.: +477-359-3923; fax: +477-359-3950.

E-mail address: petter.neksa@energy.sintef.no (P. Nekså).
1
Visiting Researcher at Consiglio Nazionale delle Ricerche, Istituto per la Tecnica del Freddo,z Corso Stati Uniti 4, 35020 Padova,
Italy and Visiting Researcher at Università di Padova, Dipartimento di Fisica Tecnica. Vice president of IIR Commission E2.

0140-7007/02/$22.00 # 2002 Elsevier Science Ltd and IIR. All rights reserved.
PII: S0140-7007(01)00033-0
422 P. Nekså / International Journal of Refrigeration 25 (2002) 421–427
1. Introduction
The Montreal Protocol dictates the abolishment on
the CFC (chlorofluorocarbon) and HCFC (hydro-
chlorofluorocarbon) refrigerants (or working fluids),
known to be harmful to the environment. These sub-
stances have been, and still are, commonly applied in
refrigeration, air conditioning, and heat pump systems.
At present, two main groups of refrigerants are poten-
tial replacement candidates for the CFCs and the
HCFCs, namely, the HFCs (hydrofluorocarbons) and
the natural refrigerants.
The global warming potential (GWP) of the HFC
gases are high. Typically, a release of one kilogram of an
HFC gas contributes 1000–3000 times more to global
warming, than release of one kilogram CO2. This is the
reason why these gases are included in the Kyoto-agree-
ment as compounds to be regulated.
CO2 is one of the few natural refrigerants, which is
neither flammable nor toxic. It is inexpensive, widely
available and does not affect the global environment as
many other refrigerants. CO2 has a GWP=1, but the
net global warming impact when used as a technical gas
is zero, since the gas is a waste product from industrial
production. There is a net surplus of CO2 in the world
today which can be used for different applications, for
example for carbonising Coca Cola and other beverages
or as a refrigerant in refrigeration and heat pump
systems.
CO2 is an excellent alternative among the natural
refrigerants, especially in applications where the toxicity
and flammability of ammonia and hydrocarbons may be
a problem. The remaining issues are to prove that the
energy efficiency and the cost of the systems are at an
acceptable level.
Different kinds of heat pumps applying CO2 as the
working fluid are currently being investigated both in
theory and in the laboratory. The intention with this
paper is to give an overview of some of these research
activities, and also to show that both types of activities
yield very competitive performance compared to the
halocarbons — provided they are done correctly. Addi-
tional advantages are also discussed.
2. Fundamentals
The application of CO2 as a working fluid introduces
challenges, but certainly also opportunities and possibi-
lities, compared to off-the-shelf technology. First of all,
components for much higher design pressures are needed,
typically 150 bar maximum operating pressure. When
CO2 started loosing market shares around 1940, the lack
of such components was one of the reasons for the
decline. However, with the manufacturing technology
and the knowledge base existing today, it is possible to
fully utilise the advantages introduced by the high pres-
sures, for instance in reducing component sizes due to
high volumetric capacity.
The critical temperature of CO2 is 31.1 C. This implies
that sub-critical operation, as known from common
refrigeration technology, is only possible when the average
heat sink temperature is rather low. However, when sub-
critical operation is possible it may be stated that the CO2
systems compete very well with respect to energy efficiency
with systems using other refrigerants.
At higher average heat sink temperatures transcritical
operation is necessary. A typical one-stage CO2 process
with internal heat exchange is shown in the T-s diagram
of Fig. 1. A simplified sketch of a heat pump, with its
main components and corresponding process points, is
included. Counter-flow heat exchange with a heat
source and a heat sink, are indicated by the broken
lines. Characteristic for the process is heat rejection at a
supercritical pressure, introducing a gliding temperature
instead of condensation at constant temperature.
Operation of the transcritical process introduces the
need to control the high-side pressure in order to obtain
optimal efficiency. Fig. 2 shows how the heating capa-
city, heating-COP and compressor shaft power vary
with the compressor discharge pressure. The heating
capacity increases steeply in the beginning, then, for
higher discharge pressures it flattens out. The com-
pressor shaft power is increasing almost linearly with
the discharge pressure. Since the efficiency of the system
(heating-COP) is given as the ratio between the heating
capacity and the power input, a maximum of the COP-
curve can be found at a certain optimum discharge
pressure. As illustrated in the figure, the variation in
COP around the optimum may be rather flat. How flat
depends, among other factors, on the boundary condi-
tions, the shape of the compressor isentropic efficiency
curve and the length of the internal heat exchanger. For
example, a small capacity internal heat exchanger results
Fig. 1. T-s diagram showing the transcritical CO2 cycle used
for water heating.
Fig. 1. Diagramme T-s montrant le cycle transcritique du CO2
utilisé pour chauffer de l’eau sanitaire.
 P. Nekså / International Journal of Refrigeration 25 (2002) 421–427
Fig. 2. Variation of heating capacity, heating-COP and com-
pressor shaft power with the discharge pressure for a CO2 heat
pump.
Fig. 2. Variation de la puissance calorifique, du COP et de la
puissance absorbée sur l’arbre du compresseur en fonction de la
pression de refoulement d’une pompe à chaleur au CO2.
in a more pronounced optimum. For further explana-
tion, see Nekså et al. [1].
In subcritical operation, the COP is in principal lim-
ited by the highest heat sink temperature. In tran-
scritical operation, on the contrary, the COP is most
often limited by how low refrigerant temperature it is
possible to achieve after heat rejection. Consequently,
the lowest heat sink temperature gives the limitation.
This must be reflected in the design of the total heat
pump system, including the heat distribution system.
For instance, at a given average heat rejection tempera-
ture, a heat distribution system with a high temperature
glide would benefit the CO2 heat pump.
A common assumption when comparing the energy
efficiency of CO2 with other working fluids is to assume
the same temperature approach in the cold end of the
condenser/gas cooler of the two systems. Most often this
assumption disfavours CO2. A fair basis for comparison
is to assume equal mean temperature differences in the
heat exchangers, and thus also for assessing the trends in
the temperature approach. The exact values will be design
specific, but it is essential to take the difference into con-
sideration in order to make a fair comparison to CO2.
Operation near the critical point offers a good poten-
tial for efficient compression [2]. This is due to low
pressure ratios and that relatively high valve pressure
drops can be accepted for a given loss in temperature
[3]. The volumetric capacity of CO2 is in the order of 5–
10 times higher than for the common alternatives. This
opens the possibility for compact compressors, even
though the pressures are high. Dorin [4] also indicates
the possibility to run semi-hermetic CO2 compressors at
3000 rpm, which of course would give a very compact
compressor for a given capacity.
The heat transfer characteristics of CO2 is very good,
even in the supercritical region. Combined with the high
volumetric capacity, this makes it possible to develop
compact and efficient heat exchangers [5,6].
423
Fig. 3. Coefficient of performance for the heat pump when
producing hot water at a temperature of 60 C, at varying
evaporation temperature.
Fig. 3. Coefficient de performance d’une pompe à chaleur utilisée
pour chauffer de l’eau chaude à 60 C, à différentes températures
d’évaporation.
3. Heat pump water heaters
Nekså et al. [1,7] describe experimental results for a
CO2 heat pump water heater (HPWH) application. The
prototype system results show that CO2 is very well
suited as a working fluid for tap water heat pumps. The
energy consumption can be reduced by 75% compared
to electrical or gas fired systems, when hot tap water is
supplied at 60 C, with the ambient air as the heat
source. Fig. 3 shows measured hp-COP as a function of
the evaporation temperature. The tap water is heated
from 10 to 60 C, typical Norwegian conditions. Hp-
COP is defined as the heat output divided by the power
input to the compressor motor. The shaft power, rather
than the input power to the motor, has been measured.
The power input to the motor was obtained assuming a
motor efficiency of 0.9.
The high process efficiency is partly due to good
adaptation of the process to the application, but also
efficient compression and good heat transfer character-
istics for CO2 are contributing to the high COP. Fig. 4
depicts isentropic and volumetric efficiency for the pro-
totype compressor at different pressure ratios. The isen-
tropic and volumetric efficiency at design conditions
(pressure ratio 2.6, heat rejection 90 bar and heat
absorption 35 bar), are 0.84 and 0.86, respectively. The
corresponding pressure ratio for a halocarbon reference
process is about 4, illustrating the favourable pressure
ratio for the CO2 process. The performance of the
compressor is quite satisfactory considering that this is a
prototype under development.
A CO2 heat pump water heater may produce hot
water with temperatures up to 90 C without operational
problems and with only a small loss in efficiency.
424 P. Nekså / International Journal of Refrigeration 25 (2002) 421–427
Fig. 4. Isentropic and volumetric efficiency for the CO2 com-
pressor at varying pressure ratios.
Fig. 4. Rendement isentropique et volumétrique du compresseur
de CO2 à différents taux de compression.
Increasing the required hot water temperature from 60
to 80 C reduces the hp-COP from 4.3 to 3.6 at an eva-
poration temperature of 0 C. The area of application is
thus much larger than for the traditional heat pump
systems, often restricted to hot water temperatures
lower than 55 C.
Due to the high volumetric efficiency, leading to small
flow areas and the good heat transfer characteristics of
CO2, it should be possible to manufacture the systems
compact and cost efficient.
The market potential for heat pump water heaters is
large. Roughly 20% of the energy use in residential and
commercial buildings goes to water heating, [8]. In
addition, there is a substantial need for water heating in
industry, where often the tap water heating may be
combined with refrigeration and /or freezing, by utilis-
ing the cold side of the system.
Several research organisations are now developing
CO2 HPWH [9–12].
4. Space heating
The market for CO2 heat pumps would of course be
extended significantly if the demand for space heating
could be covered efficiently in addition to the demand
for water heating. Schiefloe and Nekså [13] investigated
a system design as shown in Fig. 5.
In order to achieve a lowest possible return tempera-
ture from the heating system, radiator and air heating
are connected in series. Tap water heating is indicated
pre-heated in parallel with the space heating and heat
exchange against hot discharge gas is used to achieve the
required hot water temperature. The tap water heating
part could also be implemented as a separate system or
Fig. 5. System design for a combined space and water heating
system. The process is also illustrated in the T-s diagram.
Fig. 5. Conception d’un système mixte utilisé pour chauffer et
pour produire de l’eau chaude sanitaire. Le diagramme T-s montre
ce processus.
covered when space heating was not required, in order
to simplify the system design.
A comparison to using R-134a as a working fluid
showed favourable seasonal performance for CO2 when
more than 30% of the power demand for space heating
were covered by the air heating system. The rest is then
covered by the radiator system. A 70/50 C radiator sys-
tem and heat recovery efficiency of the balanced venti-
lation system of 60% was assumed. In larger buildings in
Norway, typically more than 50% of the heating demand
is air heating and this percentage is increasing due to bet-
ter insulation and increased air quality requirements. This
indicates that CO2 may be a promising candidate for this
application.
5. Residential heat pumps
A detailed simulation study on the performance of
HCFC-22 and CO2 in reversible residential heat pumps
gave quite promising results [14]. Evaporator tempera-
tures were higher in the CO2 system, and very small
approach temperatures were estimated for the CO2 gas
cooler. The mechanically expanded round-tube heat
exchangers were designed within the same core dimen-
sions and air-side pressure drop in both systems. The
effects of pressure drop, particularly in the evaporator
and suction line of the HCFC-22 system and the super-
heat characteristics of the expansion valve, gave cooling
COPs (summer operation) that were similar in both
systems, even at high ambient temperatures.
Differences in heating capacity characteristics
between CO2 and HCFC-22 are important for the
 P. Nekså / International Journal of Refrigeration 25 (2002) 421–427
Fig. 6. Measured COP, cooling mode. Ambient temperatures
are 28, 35 and 46 C for AC1, AC2 and AC3, respectively.
Fig. 6. COP mesuré en mode refroidissement. Les températures
ambiantes sont de 28, 35 et 46 C en mode conditionnement d’air
(AC1, AC2 et AC3 respectivement).
Fig. 7. Measured COP, heating mode. Ambient temperatures
are 2, 7 and 14 C for HP1, HP2 and HP3, respectively.
Fig. 7. COP mesuré en mode chauffage. Les températures
ambiantes sont de 2, 7 et 14 C en mode chauffage (HP1, HP2 et
HP3 respectivement).
seasonal heating performance (winter operation), since
differences in the need for supplementary heating affect
the total system energy efficiency. The CO2 system was
able to maintain a higher heating capacity than the
HCFC-22 system at low ambient temperatures, thereby
saving supplementary heat of some kind (electric
resistance heating was assumed). Even though the
heating COP of the two heat pump circuits are similar,
the overall result was a 20% increase in system energy
efficiency (HSPF) for the CO2 system, due to a lower
need for supplementary heat.
To verify the theoretical results, an HCFC-22 unit and
a prototype CO2 system was set up in the SINTEF’s
laboratory. The capacity of the units is a little larger than
the systems analysed in the theoretical study, and the heat
exchangers applied in the CO2 lab-unit are of the multi-
channel (parallel flow) concept. Still, the results should
give a fairly good indication of the efficiency level between
the two systems. Important is that the heat exchangers
was designed with the same core dimensions.
The main results from the experiments are shown in
Figs. 6 and 7. In AC mode, the COP values (cooling
COP) of the CO2 unit are slightly lower than those of
425
the HCFC-22 unit, whereas in HP mode, the COP
(heating COP) of the CO2 unit is slightly higher than
those of the HCFC-22 unit. In arriving at the com-
pressor power consumption for the CO2 system, the
shaft power is measured, and a motor efficiency of 0.9 is
assumed. The motor efficiency is included in the HCFC-
22 power consumption measurements.
The CO2 evaporation temperatures in AC mode were
3–4 K lower than for the HCFC-22 unit. One reason for
this is water retention. With the flat heat exchanger pipes
running horizontally, and the unit only slightly tilted for-
ward, water is effectively prevented from draining. The
result is that water builds up until it reaches a critical
mass, when it is suddenly released in a batch. The water
condensation rates were more or less the same for both
systems. The CO2 evaporation temperatures in HP
mode were 3.7 K higher to 0.4 K lower than those of
HCFC-22. The measured temperature approach was
between 1.5 and 2.0 K in AC mode and between 7.2 and
15.0 K in HP mode. The relatively large temperature
approaches in HP mode are too high for efficient
operation. The reason for this inefficiency is that the
number of passes through the indoor heat exchanger is
too low. There was only one pass through both the front
and the rear section. More passes are easily introduced
by installing baffles in the headers.
In conclusion, it can be said that the overall system
efficiency of the CO2 system in terms of COP is already
competitive to that of the HCFC-22 system in both
modes of operation. The heat exchanger design concept
applied is neither optimal from a gas cooler point of
view, nor from an evaporator point of view. Water
retention has been a problem, and this has also caused
fluctuating system pressures. In some of the experi-
ments, the CO2 compressor has not performed opti-
mally, owing to worn out bearings, and leakage through
the stuffing box. Based on the above, there should be
room for further improvements in the performance of
the CO2 system. Details about the work done so far are
given in Aarlien and Frisik [15]. More work will be done
to improve this system in the future.
6. Air heating systems
Rieberer and Halozan [16] and Rieberer et al. [11]
made detailed theoretical studies of controlled ventila-
tion air heating systems with an integrated CO2 heat
pump. The results look very promising. Fig. 8 shows
overall and hp-COP as a function of ambient tempera-
ture. Ambient air, preheated in a ground-to-air heat
exchange system, is used as the heat source. At an
ambient air temperature of 20 C, the air is preheated
to 5 C before entering the heat pump evaporator. The
overall seasonal performance factor for a Graz, Austria
climate is calculated to be in the range 6.15–6.5. This
426 P. Nekså / International Journal of Refrigeration 25 (2002) 421–427
Fig. 8. System efficiency and compressor speed. (qtran,-12 C=15
W/m2, ua=0.8 1/h, pcond=70 bar) From Rieberer and Halozan
[16].
Fig. 8. Efficacité du système et vitesse du compresseur (qtran,
12 C = 15 W/m2, ua = 0,8 1/h, pcond = 70 bars) (fondé sur
les travaux de Rieberer et Halozan [16]).
corresponds to a seasonal performance factor of the
heat pump of above 4 (author’s remark).
7. High temperature hydronic heating systems
Enkemann et al. [17] made a theoretical study on CO2
heat pumps for retrofit in typical hydronic heating sys-
tems in Western Europe. A system originally designed
for temperatures 70/50 C was proposed modified by
reducing the mass flow rate of water to obtain a 93/40 C
system, which should give a corresponding heat output
using the existing radiator system. The seasonal perfor-
mance was then increased from 2.8 to 3.2. In addition,
this system will be able to supply hot tap water without
any loss in energetic efficiency.
Experimental results from two prototype systems for
this application is reported in Brandes [18]. Efficiency
figures in the same range as those calculated were
reported.
8. Heat pump dryers
Another interesting application is heat pump dryers.
Steimle [19] reports, based on theoretical considerations,
that energy saving is possible due to better temperature
adaptation in the heat exchangers, compared to sub-
critical processes. It is also possible to achieve higher air
temperatures without loss in efficiency, thus increasing
the moisture extraction rate.
Experimental results from Schmidt et al. [20] reports
hp-COPs in the range 5.5 and 55% reduction in the
energy consumption, including fan power, compared to
a traditional electrically heated dryer. The results were
achieved after a first optimising of the prototype system
and it is hoped that further essential improvements still
can be reached.
9. Other heat pump applications
Late professor Gustav Lorentzen has published sev-
eral papers describing the possibilities of using CO2 as a
working fluid in heat pumps and refrigeration systems.
In [21,22] he describes a system design of large heat
pumps for district heating. This is a high-capacity
application where turbo expanders may be possible to
realise a cost efficient manner. Described is also the
possibility to combine refrigeration/freezing and tap
water heating, which will give a very high overall system
efficiency.
The global warming issue has led to increased focus
on energy efficiency and heat recovery in various appli-
cations. Nekså et al. [23] describe theoretical and
experimental results for an all-CO2 system for commer-
cial refrigeration.
Less excess heat in cars due to more efficient motors
and introduction of electrical cars has led to the interest
of using the mobile air-conditioning system as a heat
pump in the cold season. Hafner et al. [24] report
favourable features of using CO2 in these kinds of
systems.
10. Conclusions
Experimental results show that CO2 may be success-
fully used as a working fluid in heat pumps with very
competitive performance, if the system is properly
designed.
There is a good accordance between theory and experi-
mental results when calculations are done properly, i.e.
when the properties of CO2 and process characteristics of
the transcritical CO2 process are fully exploited.
Very promising simulation results exist for applica-
tion areas where experimental results are not yet avail-
able. There are good reasons to continue with
experimental work in these areas.
With all the benefits of a natural working fluid and
the very competitive performance demonstrated, CO2 is
and will continue to be a viable alternative to the syn-
thetic working fluids.
Acknowledgements
For the projects reported here that are accomplished
at SINTEF Energy Research, I would like to thank the
companies Hydro Aluminium, FINSAM Int. Inc,
Frostmann, OSO Hotwater, STATOIL, Tipro Nova,
Sperre Thermo, Costan SpA and Officine Mario Dorin
SpA, in addition to the Norwegian Research Council
and the EU commission.
 P. Nekså / International Journal of Refrigeration 25 (2002) 421–427
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